Rachel A. Zachary

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CRD#: 2903418

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rachel Allen Zachary, who also goes by Rachel A Zachary, was a registered financial professional .

Rachel is a previously registered financial professional and started their career in finance in 1997. Rachel had worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rachel A Zachary

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.RETIREMENT PLAN CONSULTANT OF SAGE VIEW ADVISORY GROUP RIA. 2.MERRY OAKS HOMEOWNERS ASSOCIATION, DIRECTOR, VIENNA, VA, 5 HOURS PER WEEK.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 28, 2007 - April 28, 2023

SAGEVIEW ADVISORY GROUP, LLC

RIA

CRD#: 126777

FULTON, MD

Past

December 1, 2005 - May 3, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

FULTON, MD

Past

April 2, 2002 - December 7, 2005

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

June 25, 1997 - November 6, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/27/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/14/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/1997

General Securities Representative Examination

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

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Contact information

Main Address

4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660

Mailing Address

Phone number

(800) 814-8742

Established

Firm type

Fiscal year end

# of Employees

248

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGEVIEW ADVISORY GROUP ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13,295
AUM (Assets Under Management)	$ 238,552,018,915

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Rachel A. Zachary

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SAGEVIEW ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/27/2007

Series 65

Date: 7/14/1997

Series 63

Date: 7/1/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/23/1997

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGEVIEW ADVISORY GROUP, LLC

TRUST BUT VERIFY

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